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Author's Acknowledgments This research was conducted for the American Association of State Highway and Transportation Officials, with funding provided through the National Cooperative Highway Research Program (NCHRP) Project 20-24 (71), Expediting NEPA Decisions and other Practitioner Strategies for Addressing High Risk Issues in Project Delivery. The NCHRP is supported by annual voluntary contributions from the state departments of transportation. Project 20-24 is intended to fund quick response studies on behalf of AASHTO and state DOT leadership. The background research was prepared by Edward V.A. Kussy, Carollyn B. Lobell and David J. Miller of Nossaman LLP. The other authors of this report were William G. Malley, Perkins Coie LLP; Howard P. Wood of Parsons Brinckerhoff, Inc.; and Hal Kassoff, PE, Parsons Brinckerhoff. The project was managed by Andrew C. Lemer, Ph.D., Cooperative Research Programs, TRB.
TABLE OF CONTENTS Page: AUTHOR'S ACKNOWLEDGMENTS .................................................................................................... ii GUIDANCE FOR MANAGING LEGAL RISKS IN THE NEPA PROCESS ....................................... 1 Early Identification and Assessment of Legal Risks ................................................................................................ 1 Methods for Managing Legal Risks ........................................................................................................................ 2 Legal Risk Assessment Checklist for Transportation Projects ................................................................................. 6 BACKGROUNDER: CASE LAW AND CASE STUDIES OF LEGAL RISK IN THE NEPA PROCESS ................................................................................................................................................. 13 Introduction ......................................................................................................................................................... 13 Organization of this Section .................................................................................................................................... 14 Case Law .............................................................................................................................................................. 15 Purpose and Need................................................................................................................................................... 15 Range of Alternatives .............................................................................................................................................. 17 Integration of NEPA and Other Environmental Processes ...................................................................................... 18 Section 4(f) Resources and Other Historic Sites ................................................................................................. 19 Wildlife and Habitat Issues ................................................................................................................................. 21 Impacts on Wetlands and Other Waters of the United States .......................................................................... 22 Coordination with Other Environmental Reviews ............................................................................................. 23 Case Studies ......................................................................................................................................................... 23 Intercounty Connector Project ............................................................................................................................... 24 Mountain View Corridor ......................................................................................................................................... 25 Alaskan Way Viaduct Replacement Project ............................................................................................................ 26 The 11th Street Bridge Project................................................................................................................................ 28 Presidio Parkway Project ........................................................................................................................................ 28 Nelsonville Bypass Project ...................................................................................................................................... 29 Identifying, Assessing and Addressing Risk .......................................................................................................... 31 Identifying Risk ........................................................................................................................................................ 32 Type of Project ................................................................................................................................................... 32 Resources Affected ............................................................................................................................................ 34 Managing Risk ......................................................................................................................................................... 37 Responding to the Risk of Administrative Delay ................................................................................................ 38 Responding to Vocal Opposition ........................................................................................................................ 40 Responding to the Risk of Litigation .................................................................................................................. 41 Deciding What to Do: Evaluating the Level of Risk and Using Experts ................................................................. 43 Conclusion ........................................................................................................................................................... 45 i
APPENDIX A: KEY OBSERVATIONS FROM INITIAL INTERVIEWS ...................................... A-1 Early Risk Identification and Risk Factors ............................................................................................................A-1 Type of Project ...................................................................................................................................................... A-1 Resources Affected ............................................................................................................................................... A-3 Other Indicators .................................................................................................................................................... A-3 Strategies for Managing Risk ..............................................................................................................................A-3 Identify Issues Early .............................................................................................................................................. A-3 Engage Expert Legal and Technical Advisors Early On .......................................................................................... A-4 Engage the Public Early On ................................................................................................................................... A-4 Coordinate with Resource Agencies and FHWA ................................................................................................... A-4 Prepare for Litigation from the Outset ................................................................................................................. A-4 General Observations .........................................................................................................................................A-5 APPENDIX B: LIST OF ACRONYMS/ABBREVIATIONS ............................................................ B-1 ii
